SEC Modernizes the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934

The Securities and Exchange Commission today adopted amendments to require the electronic filing, submission, or posting of certain forms, filings, and other submissions that national securities exchanges, national securities associations, clearing agencies, broker-dealers, security-based swap dealers, and major security-based swap participants make with the Commission.

"Today's amendments build on more than 20 years of Commission actions to modernize filing and recordkeeping requirements," said SEC Chair Gary Gensler. "I'm pleased that the Commission has taken the next step towards updating our requirements for the digital age."

Prior to today's amendments, registrants filed with, or otherwise submitted to, the Commission many Exchange Act forms, filings, or other materials in paper form. Under the amendments, registrants will make these filings and submissions electronically using the Commission's EDGAR system, in structured data format where appropriate, or by posting them online. The Commission is also adopting amendments regarding the Financial and Operational Combined Uniform Single (FOCUS) Report to harmonize with other rules and forms, make technical corrections, and provide clarifications.

The adopting release is published on SEC.gov and will be published in the Federal Register. The effective date for these amendments is 60 days after the release is published in the Federal Register. The compliance dates for these amendments vary depending on the applicable form or rule but range from 60 days after the release is published in the Federal Register to on or after June 30, 2028.